Regional Compliance Officer Resume Sample
Fae Robel
871 Braulio Fields,
Chicago,
IL
+1 (555) 698 3792
Work Experience
Regional Compliance Officer
08/2015
-
PRESENT
Boston, MA
- Americas SSU & BAs (incl. Finance, Sales, Operations, Marketing, IT)
- Getinge Legal / Ethics & Compliance
- BUs (ACT & SWIC)
- Knowledge of laws, regulations and industry standards across the region with a particular emphasis on contracting and competition law
- Knowledge of and experience with anti-corruption rules and regulations (FCPA, UK Bribery Act, AdvaMed, etc.)
- Ensure that the regional compliance program meets regulatory requirements and NCO standards while enhancing organizational performance
- Lead regional ethics and integrity initiatives and provide strategic direction on Regional initiatives, (POR/COI etc); assumes dissemination and awareness of POR
Regional Compliance Officer, Asia
07/2011
-
05/2015
Chicago, IL
- Provide timely reports on compliance issues to regional leadership and NCO
- Excellent and well-rounded professional capable of dealing with all compliance issues, particularly those of a highly sensitive nature
- Capable of leading, external enforcement cases and internal investigation matters of Group relevance
- Capable of providing meaningful input to management, M&A and project teams in terms of compliance assessment and diligence requirements
- General agility and sound judgment
- Highest levels of ethics, integrity and discretion
- Pragmatic and solutions oriented approach
- Personal gravitas, impact and influence to reflect the nature and seniority of the role
Regional Compliance Officer Eamea
03/2005
-
02/2011
Los Angeles, CA
- Proven ability to operate effectively (incl. influence and lead) stakeholders at all levels particularly at a senior leadership level including regional EXCO member, Area Management and Country CEO level as well as others in global functions
- Excellent interpersonal and communication skills to ensure the right organisational outcomes and impact
- Strategic and wide ranging thinker who is comfortable taking positions to advance the interests of the organisation as a whole but always in an ethical and legal manner which is consistent with group policy and directives
- Capable of developing and executing complex medium/long term plans/strategies within the region while at the same time being able to deal with issues of an immediate nature
- Forward looking, self-motivated and outcomes-orientated, with experience in managing in dynamic, complex, challenging and or ambiguous environments
- Identifying trending policies and issues within the Team’s coverage area
- Provide support and advice to countries in ASPAC to better achieve a permanent state of control readiness in Asia Pacific, e.g. conduct workshops with countries to identify and prioritise remediation activities in advance of upcoming inspection
- Maintain a cutting edge awareness of company goals, regulatory and legislative developments, and industry trends
Education
National University - Fresno Campus
1999 - 2004
Bachelor's Degree in Business
Professional Skills
- Provide regulatory advice and support to supervisors and registered representatives in the branches for the ultra high net worth and high net worth businesses of the J.P. Morgan Private Bank. Strong knowledge of FINRA and SEC rules and regulations imperative
- Provide regulatory advice and communicate firm policy regarding the Firm's sales practices for the suite of Investment Solutions offered by J.P. Morgan Private Bank
- Coordinate efforts with the Regional Compliance Officers nationally on all matters that impact J.P. Morgan Private Bank and its Compliance Program, escalating issues and updating management accordingly
- Strong negotiation skills and a proven ability to exercise strong business judgment
- Superior oral communication, inter-personal skills, and presentation skills
- Excellent analytical ability, problem-solving and leadership skills
- Proven research and analytical skills to gather appropriate facts
How to write Regional Compliance Officer Resume
Regional Compliance Officer role is responsible for research, regulatory, securities, retail, finance, training, integration, auditing, oncology, reporting.
To write great resume for regional compliance officer job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Regional Compliance Officer Resume
The section contact information is important in your regional compliance officer resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Regional Compliance Officer Resume
The section work experience is an essential part of your regional compliance officer resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous regional compliance officer responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular regional compliance officer position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Regional Compliance Officer resume experience can include:
- Relevant work experience in compliance, law, AML/financial services compliance, banking, third party payments and/or regulatory roles with knowledge of relevant laws and regulations (e.g., PBOC, SAFE and AML regulations) and experience working with regulators and understanding of regulator expectations
- Strong multi-national banking, financial or third party payment institution experience important. Legal background or experience helpful
- Good customer service skills and the ability to resolve customer complaints
- Additional language skills - English/Spanish (as appropriate to the region)
- Relevant experience, ideally within the private or investment banking environment
- Proven track record of working successfully in or with high risk jurisdictions in Region Europe
Education on a Regional Compliance Officer Resume
Make sure to make education a priority on your regional compliance officer resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your regional compliance officer experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Regional Compliance Officer Resume
When listing skills on your regional compliance officer resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical regional compliance officer skills:
- Development and execution of effective employee and third-party training and communication plans, including monitoring feedback and continuous improvement
- Experience of managing successfully (internationally based) teams, particularly in times of change and uncertainty
- Experience conducting AML investigations, SAR filings and analysis and review of financial transactions
- Demonstrated understanding of the MoneyGram's general business practice
- Working knowledge of the obligations derived from the German Money Laundering Act (Geldwäschegesetz – GwG)
- Providing ethics & compliance expertise to special projects as needed
List of Typical Experience For a Regional Compliance Officer Resume
1
Experience For Regional Compliance Officer, Asia Resume
- Identify, prioritize, conduct and document required monitoring and review activities
- Provide compliance training on relevant areas, as needed
- Complete Compliance and HIPAA audits and monitoring activities
- Policies, Procedures & Training
- Fluency in both Chinese and English
- Help Compliance Director for Latam to coordinate projects for the Regional
- With LCOs, identify all laws/regulations that are applicable to their region
2
Experience For Regional Compliance Officer, Latam Resume
- Where appropriate, develop a relationship with relevant regulators to support positive compliance; co-ordinate queries and responses to domestic and foreign regulators
- With LCOs maintain a current regulatory overview for each country; report to the Compliance Director on changes in legislation, regulatory bodies or key regulatory personnel, stating clearly its anticipated business impact
- Review and sign off on the formal annual review by LCOs of compliance with local regulatory obligations, including adherence to licence requirements in domestic and foreign territories
- Proficient in MS Office (Excel, Word and PowerPoint)
- Serves as the official contact and public representative for Presence Health’s Compliance Program in assigned region. Provides assistance and/or information on program elements
3
Experience For Regional Compliance Officer Eamea Resume
- Drive and oversee the full and effective implementation of the Sandoz Compliance Program in the Region, including: - Support the regional business-owned implementation of Global Compli-ance Policies and Guidelines, and provide guidance on local SOPs and processes development, as applicable
- Oversees development and implementation of compliance measures corresponding to professional standards of conduct, as well as applicable federal, state and local laws. Oversees development and implementation of compliance measures taken to meet applicable regulatory and accreditation standards
- Approves promotions, demotions, hiring/terminations, and has direct authority for paying and status changes for associates or groups of associates within business unit
- Provides compliance advice and counsel to Ministry Market and Health Ministry Senior Executives and Leadership
- Oversees and administers the Region Compliance Program
- Performs on-going Region/Health Ministry compliance risk assessments. Develops and implements Region compliance work plans in high-risk compliance areas, including auditing and monitoring
- Ensures that compliance education and training is conducted with associates, governance, medical and professional staff, contractors and other appropriate third parties
- Function as the day-today resource for compliance questions and concerns
- Attend hospital leadership meetings (no less than quarterly)
4
Experience For Regional Compliance Officer With German Resume
- Being responsible for implementation of and ensuring compliance with the internal processes and procedures and external rules and regulations for APAC, including the Getinge Code of Conduct and the applicable laws
- Advising on compliance matters, such as drafting, review and negotiation of clinical study, research, training, sponsor/donation, consultancy and other non-sales contracts and other arrangements with hospitals and health care professionals
- Superior oral communication, inter-personal skills, mature judgment and independent thinking
- Demonstrated working knowledge of the relationship between sales and marketing business unit activities and relevant compliance requirements
- Conducting compliance training for all employees and continue to drive the culture of compliance
- Record of success in driving change and process improvements despite organizational, legacy resistance
- Monitor implementation of any corrective actions resulting from compliance audits
- Provide commercially-oriented operational support and strategic guidance to Getinge APAC SSU operations
5
Experience For Regional Compliance Officer Latam Resume
- Identify and manage internal and external compliance resources as required to provide high quality compliance support at a reasonable cost
- Proven ability to use critical thinking skills to analyze new and complex business projects against regulatory requirements and new policies and provide balanced, workable solutions to the business
- Passion for the work and willingness to learn
- Influence senior management to drive sustainable cultural and organizational approach to ethics and compliance
- Write and understand complex contexts and translate into to polices, processes etc
- Knowledge of current dynamics in the health care industry (specific emphasis on Chinese law related to bribery)
- Ability and willingness to educate and train others (team player)
- Visit practices at least quarterly to actively promote the 21st Century Oncology Compliance Program and to monitor day-to-day compliance activities
6
Experience For Ceemea Regional Compliance Officer Resume
- Foster open communication between staff and the Compliance Department by being an active resource for the staff and physicians of the practices within the region on compliance questions and concerns
- Complete investigations of potential compliance issues, at the direction of the Director of Compliance and/or the Chief Compliance Officer
- Complete investigations of potential privacy breaches, at the direction of the Privacy Officer
- Monitor key metrics, statistics and reports for identification of potential compliance issues
- Complete new practice Compliance due diligence activities
- Prepare regular (at least quarterly) reports to the Chief Compliance Officer on compliance matters within the region
- Provide updates to the Executive Compliance Committee on compliance matters, when necessary
- Travel from 75% up to 100%
7
Experience For Corporate Compliance Regional Compliance Officer VP Chicago Resume
- Serve as the Getinge North America Compliance Committee chair. Develop the meeting agendas and conduct the meetings regularly. Develop and deliver reports on program status with key metrics to the North America Compliance Committee
- Implement, oversee, and annually update a Compliance Work Plan that sets forth the North America Compliance Program’s activities for the year, including responsible parties, dates, and proof of completion
- Develop, review, and revise policies and procedures as needed for the general operation of the North America Compliance Program and its related activities to prevent illegal, unethical, or improper conduct. Communicate updates and changes to all applicable employees
- Develop and implement a Compliance communications and training strategy that incorporates various training and communication mechanisms to reinforce ethical conduct throughout the North America business
- Establish an open line of communication with Getinge personnel, contractors, and key management to provide relevant and timely guidance to the Getinge business in North America. Develop strong relationships throughout area of responsibility to foster an advisory or collaborative approach to proactive compliance
- Coordinate with other regional Compliance Officers and the Senior Compliance Officer to ensure that global issues and concerns are addressed in a consistent manner
- Coordinate the timely, confidential investigation and effective management of all matters referred to the North America Compliance Office via the hotline or other intake mechanisms. If needed, take an active role in investigations, resolution, and follow-up of matters
- Assist the Legal team as appropriate in ensuring compliance matters are addressed for commercial contracts
- Identify and report trends, significant matters, and compliance issues to senior management or the Senior Compliance Officer as appropriate
8
Experience For Regional Compliance Officer Dach Resume
- In collaboration with Legal, provide support to the business in identifying issues related to risk areas including government contracting/public procurement; requests for proposals; competition law concerns, etc
- Maintain high level of knowledge of current and emerging laws and regulations related to compliance. These include, but are not limited to industry trends and guidance on country, state/provincial or local laws
- Working closely with NCO, ensure that first tier, downstream and related entities, particularly those involved in sales and marketing activities, are aware of and follow the requirements for Medicare Part D and other sales and marketing activities
- Lead regional ethics and integrity initiatives and provide strategic direction on Regional initiatives,(POR/COI etc); assumes dissemination and awareness of POR
- Oversee the development of the region’s compliance policies and procedures; assures policies accurately and effectively communicate legal, regulatory and accreditation requirements, and meet internal policies and procedures and ethical standards; periodically reviews and initiates needed updates
9
Experience For Senior Regional Compliance Officer Resume
- Ensure that shared service and/or nationally managed functions meet regional complianceaccountabilities when serving the region
- Collaborate with the National Compliance Office on program wide compliance initiatives
- Lead the Regional Compliance Committee; meet at least quarterly; develop strategies to promote compliance; ensure training; assist in CAP activities; develop and implement corrective and preventive actions; oversee internal controls; ensure current policies; ensure retaliation free process for reporting
- Oversee and support the development of compliance risk mitigation and corrective action plans
- Working closely with Human Resources departments, ensure the DHHS OIG and GSA exclusion lists have been checked with respect to all employees, officers, directors, and managers as well as assuring first tier, downstream and related entities are not included on such lists
- Provide timely reports on compliance issues to regional leadership and NCO. Supervise sensitive compliance investigations and ensure the integrity of the process
- Work closely with Internal Audit and NCO-NSIU whenever applicable; where/when applicable andappropriate, coordinate with Medicare Fraud Control Units (MCFUs), commercial payers, and otherorganizations when a FW&A issue is discovered to involve multiple parties
10
Experience For Regional Compliance Officer Nceed Resume
- Oversee and ensure the integrity of the regional hotline process
- Hire, develop and manage compliance/ethics and integrity and privacy staff
- Provide timely reports on compliance issues to regional leadership and NCO.Supervise sensitive compliance investigations and ensure the integrity of the process
- Ensure that shared service and/or nationally managed functions meet regional compliance accountabilities
- In collaboration with the Regional General Counsel, defines and implements a regional compliance strategy that is both consistent with the Group Compliance strategy as well as tailored specifically to address regional risks and needs
- Implements an adequate and risk-based network of Local Compliance Officers (LCOs) and effectively manages the relevant compliance-related roles and responsibilities
- Serves as primary contact for the LH Head Group Compliance as well as the regional Executive Committee Member and Area Management as well as other stakeholders (e.g., H&S, Sustainable Development, O&HR, Legal, Internal Controls, Internal Audit) for compliance-related issues
- Provides compliance-related advice to group, regional and local senior management and provides oversight and guidance to LCOs who in turn provide such advice at the local level to both senior management and local Boards of Directors
List of Typical Skills For a Regional Compliance Officer Resume
1
Skills For Regional Compliance Officer, Asia Resume
- Flexible people management skills and management style
- Proven track record of working successfully in an international and decentralized environment
- Proven track record of working successfully in a matrixed environment
- Effective and practical compliance oversight and advice
- 3-year work experience within the financial services industry
- Work experience within AML/KYC/CFT, general compliance or internal control
- Strong knowledge of U.S. sanctions programs (OFAC)
- Demonstrated ability to handle complex matters as part of a global group
- Experience in leading investigations into allegations of misconduct
2
Skills For Regional Compliance Officer, Latam Resume
- Being the primary support for compliance matters in Getinge’s APAC SSU including
- Chairing the Getinge Regional Compliance Steering Committee (APAC)
- Setting direction and strategy for Ethics & Compliance activity in the LATAM Region
- Working knowledge of Bank Secrecy Act and AML Regulations, USA Patriot Act, Office of Foreign Assets Control
- Working knowledge AML/Compliance Regulations (local, EU), Data protection regulations
- Coordinating with the internal Branch Examination Teams during entire examination process
- Practical know in planning, executing, and reporting on interdisciplinary projects
- Serve as a key component of the vetting process of advisor prospects seeking affiliation with the firm
3
Skills For Regional Compliance Officer Eamea Resume
- English – fluent both speaking and writing. Additional languages (Bulgarian or Russian) would be an asset but not mandatory
- Ensure that Branch organization templates are in place, current and functioning; supervision activity is monitored to ensure this is happening
- Ethics & Compliance control testing
- Maintain oversight of the branch compliance activities through a dotted line relationship to Branch Compliance Officers, including but not limited to
- General understanding of Teva’s portfolio,
- Knowledge of Money Laundering Regulation 2017 (MLR 2017)
- Monitors compliance with company EHS policies and external regulations, including federal, state, and local
- Develops and administers long and short-term business strategies reflecting the divisional strategic plan
- Implements cost savings procedures, while increasing product and service delivery within a business unit
4
Skills For Regional Compliance Officer With German Resume
- Physician compliance, medical office management, or nursing background desire
- Ensure that the regional compliance program meets state and federal regulatory requirements and NCO standards while enhancing organizational performance
- Assists management in responding to Requests for Information, Subpoenas and other similar corporate criminal-related document requests and inquiries
- The role entiles 50% travelling
- Collaborate with internal and external counsel on developing responses to regulatory inquiries
- Provides training to the business on Compliance Functions
- Serves as a subject matter expert on compliance issues by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations
- Provides training as needed
- Visit each branch at least once a year (where possible, bi-annually) to ensure compliance is being done to BMO NB standards
5
Skills For Regional Compliance Officer Latam Resume
- Take the lead on specific projects to enhance the J.P. Morgan Private Bank Compliance Program and execute on those projects to completion
- Assist on Regulatory Exams/Inquiries/Sweeps in the region, coordinating with the central J.P. Morgan Regulatory Examinations Group, Legal, the Business, Operations and other Control Groups; and escalating issues and updating management
- Receive, review, draft and advise on customer complaints and form U-4, U-5 and DEF filings
- Participate in submission of quarterly filings to FINRA for regulatory and customer complaints
- Influence senior management to drive sustainable cultural/organizational change and program integration
6
Skills For Ceemea Regional Compliance Officer Resume
- Unquestioned integrity and ethics in business and personal conduct
- Energetic, self-starter and innovative with the ability to act independently
- Respond to global/cultural sensitivities
- Knowledge of current dynamics in the health care industry
- Provide regulatory advice and support to Regional Supervisory Management, Market Directors, and Supervisory Managers in the Chase Wealth Management line of business
- Strong knowledge of FINRA and SEC rules and regulations
7
Skills For Corporate Compliance Regional Compliance Officer VP Chicago Resume
- Conduct on-site branch office and OSJ visits as necessary
- Provide regulatory advice, communicate firm policy and provide appropriate training to registered representatives regarding the Firm's sales practices, policies and procedures for the suite of Investment Solutions offered by CWM
- Coordinate efforts with the Regional Compliance Officers nationally on all matters that impact CWM and its Compliance Program, escalating issues and updating management accordingly
- Take the lead on specific projects to enhance the CWM Compliance Program and execute on those projects to completion
- Assist on Regulatory Exams/Inquiries/Sweeps in the region, coordinating with the central Regulatory Examinations Group, Legal, Senior Business Leaders, Operations and other Control Groups, and escalate issues and update management accordingly
- Coordinate with the internal Branch Examination Team after the examination process and following up with Supervisory Management on any outstanding issue or deficiencies
8
Skills For Regional Compliance Officer Dach Resume
- Excellent verbal and written communication, as well as client management, reporting/metrics, interpersonal, organizational, and presentation skills
- Healthcare experience and knowledge of pharmaceutical business
- Work closely with Internal Audit and NCO-NSIU whenever applicable; where/when applicable and appropriate, coordinate with Medicare Fraud Control Units (MCFUs), commercial payers, and other organizations when a FW&A issue is discovered to involve multiple parties
- Ensure that shared service and/or nationally managed functions meet regional compliance accountabilities when serving the region
- Maintain an in-depth understanding of compliance requirements for the brokerage industry and attend quarterly calls with PCD National Office and the annual internal DCO conference to share knowledge, issues and challenges as well as sustain knowledge level for regulations
9
Skills For Senior Regional Compliance Officer Resume
- Facilitate and participate in regular conversations with the Regional Manager, Branch Compliance Officers and PCD Administration to share information and discuss common compliance-related issues/concerns
- Play a key leadership role in helping to develop and enforce policy/procedure for compliance nationally and in the region in alignment with the PCD strategy; communicate effectively within the region to ensure that Branches are aware of what is required for compliance Branch reviews
- Engage with the Branch/PCG/PCD Compliance Officers to obtain their perspective about regional compliance activities and requirements
- Evaluate the strength and effectiveness of compliance and adoption of policies, processes at the branch level and develop action plans to improve compliance and overall compliance review results
- Engage with the Branch/Wealth Management /PCD Compliance Officers to obtain their perspective about regional compliance activities and requirements
- Management of LATAM Regional Ethics & Compliance Committees
- Development and execution of fraud, corruption, and compliance risk assessment
10
Skills For Regional Compliance Officer Nceed Resume
- Delivery of ethics and leadership education for managers
- Participation in management of E&C intranet sites
- Participation in audits related to corruption and other E&C risks
- Management of third-party due diligence program
- Manage, focus, motivate and enable large dispersed teams
List of Typical Responsibilities For a Regional Compliance Officer Resume
1
Responsibilities For Regional Compliance Officer, Asia Resume
- Develops and executes an appropriate stakeholder relationship management system, to be implemented throughout the region
- Contributes to the development and then subsequently implements the Compliance Risk Assessment process; manages the communication to LCOs both regarding the process and their roles and responsibilities vis-a-vis other stakeholders
- Ensures the implementation and facilitates timely execution of the Compliance Risk Assessment by the LCOs
- Manages the Risk Assessment process to assist the region, area and local management to better understand compliance risk exposure areas and compliance teams to effectively plan compliance preventative measures
- In consultation with the RGC, Implements group compliance priorities and develops necessary solutions as needed on a regional level; similarly identifies and prioritizes activities that present specific compliance risks for the region
2
Responsibilities For Regional Compliance Officer, Latam Resume
- Communicates and agrees on any new compliance activity or re-prioritization of existing group-wide activities with the Regional General Counsel and Head Group Compliance
- Prepares a consolidated regional compliance plan or overview and reports progress at least quarterly against the annual plan to the Regional General Counsel
- Implements new or revised compliance-related policies, directives and guidance (Compliance Policies) ensuring appropriate and necessary modifications specific to the region are made in consultation with Regional General Counsel and Head Group Compliance
- Consults with the internal audit and control functions on training, implementation and effectiveness monitoring and reporting for compliance aspects of the deployed risk and control matrix
- Contributes to the design of and implements the global Compliance training and awareness programs ensuring appropriate and necessary modification specific to the region are made in consultation with the Regional General Counsel
- Third Parties and Business Transaction Due Diligence
- Oversees local integration activities of the third party due diligence tool and process
- Ensures compliance due diligences applicable to third parties, M&A and Joint Venture activities are completed in accordance with the LH Third Party Due Diligence process
3
Responsibilities For Regional Compliance Officer Eamea Resume
- Has oversight and approval responsibility for Group-relevant high risk third party transactions often requiring understanding of complex transactions and environments
- Reviews, analyzes and reports statistical management information relating to reported concerns to the Regional General Counsel and other executive and senior management, where appropriate
- Establishes and maintains a regional monitoring and review framework
- Develops suggested monitoring methods
- Reviews all internal and external audit reports in which compliance issues are identified. Oversees the region-wide review activities and provides a consolidated report to the Head Group Compliance when so requested
4
Responsibilities For Regional Compliance Officer With German Resume
- Performs oversight of the local compliance function by scheduling and conducting formal and informal reporting with direct reports in an appropriate manner and frequency
- Manages at least one Group or region relevant compliance-related initiative or project annually focused on improving the Compliance Program from a preventative, detection or remediation aspect
- Oversees multi-disciplinary teams in order to ensure projects are effectively communicated and implemented throughout the Group
- Confirms that processes exist and are effective to report local regulatory insights to group and relevant management
- Ensuring implementation of guidelines and regulations and execution of the operational Compliance Processes as well as Compliance controls
- Coaches and mentors subordinates and identifies training needs and approves development plans
- Successful completion of 30 day Investment Representative Licensing Program
5
Responsibilities For Regional Compliance Officer Latam Resume
- Conceptual understanding of the Manulife’s corporate compliance methodology and program objectives
- Oversees interactions with local authorities and regulators related to compliance related topics
- Ideally licensed practitioner / admitted to the bar
- Provides advice to business management to develop, communicate and implement strategies and procedures to manage applicable compliance risks
- Provide onsite assistance during regulatory reviews, collaborate with internal partners on the review, and manage on-site regulatory reviews including interacting with regulators
- Build and implement training and educational programs (i.e. road shows, conference calls, seminars, conferences)
- Identify gaps in the firm’s controls and collaborate with the appropriate business units to resolve
- Plans, assigns, monitors, reviews, evaluates and leads the work of subordinate managers and advisors
6
Responsibilities For Ceemea Regional Compliance Officer Resume
- Develops and maintains compliance programs, systems, policies and procedures for assigned area to ensure compliance with federal, state and self-regulatory regulations
- Excellent communication skills (both written and oral) along with good interviewing skills and the ability to ask the right questions in order to obtain a thorough knowledge of a subject
- Work effectively with others, be prepared to provide support to the team where required
- Creation of effective and cohesive teams
- Influence and work well in a matrix structure
- Key Performance Indicators (KPI’s): Monitors and reports status on Compliance KPI’s. Creates and implements action plans to address performance gaps as needed
- Knowledge of and experience with anti-corruption rules and regulations (FCPA, UK Bribery Act)
7
Responsibilities For Corporate Compliance Regional Compliance Officer VP Chicago Resume
- Experience with global legal and regulatory compliance frameworks and subject matter expertise in AML, and Anti-Corruption
- Execute supervisory activities for Branch Managers and, as required, Regional Managers; ensure that all supervision at all levels is taking place
- Successful completion of the Partners, Directors and Senior Officers Qualifying Examination
- Deliver compliance training for employees, suppliers and third parties where necessary
- Report all relevant information on regional compliance
- Closely observe and communicate specific regional developments in regional compliance
- Working knowledge of proceeds of Crime Money Laundering Terrorist Financing Act and associated regulations (PCMLTFA/PCMLTFR), Money-Services Businesses Act (Quebec), Canadian Privacy Law ( Privacy Act and the Personal Information Protection and Electronic Documents Act (PIPEDA)
- Fifteen years of work experience in healthcare compliance, legal, internal audit or other related fields is required
8
Responsibilities For Regional Compliance Officer Dach Resume
- Knowledge of laws, regulations and industry standards across the region with a particular emphasis on EU data privacy and transparency rules/regulations
- Knowledge of the Proceeds of Crime Act 2002
- Knowledge of Counter Terrorism Act 2000 and Counter-Terrorism and Security Act 2015
- Deep insight into Americas region, knowledge of applicable laws, compliance policies and specific industry codices
- Responsible for Environment, Health, and Safety (EHS) activities of the site
9
Responsibilities For Senior Regional Compliance Officer Resume
- Works with appropriate LabCorp areas to develop and implement EHS policies and procedures. Monitors site activities
- Acts as a liaison with Regional/Divisional EHS Managers
- Provides management reports for assigned sites
- Maintains all necessary records
- Disseminates information at the site
10
Responsibilities For Regional Compliance Officer Nceed Resume
- Complies with LabCorp environmental, health, and safety (EHS) policies
- Assures and enforces compliance with LabCorp EHS policies with employees supervised
- Additional job duty: (Hazardous Chemical Waste Management)
- Clear policies and procedures
- Also, in conjunction with finance areas, be responsible for conducting monitoring, auditing/triaging; investigation of allegations of misconduct and resolution of the same as necessary.
- Collaborative style - uses influence and persuasion to get the right organisational outcomes
- Act as a point of escalation for issues of non-compliance identified by the Branch Compliance Officer
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